in, or procure for profit from holding in, securities, derivative, or any other properties, or invest in or porcure for profit by other means. (As amended by Section 3 of the Securities and Exchange
business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may
shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may be, as prescribed in this Notification: (1) managing, determining
free trade agreement will be ongoing. The deadline for extending this transition period has passed. While this does not entirely remove the prospect that the transition period will be extended (for
of the month of December 2014. In case the person under the first paragraph has failed to obtain an approval from the SEC Office within the specified period, the intermediary shall remove the person
Office may prescribe other conditions for the derivatives broker to comply with. Clause 10. The derivatives broker shall procure personnel who are knowledgeable, capable or experienced and who are
or permanent basis. In this regard, the SEC Office may prescribe other conditions for the derivatives broker to comply with. Clause 10. The derivatives broker shall procure personnel who are
for promoting and maintaining security, credibility, transparency and fairness in derivatives trading, as follows: (1) procure a derivatives trading system capable of supporting expected trading volume